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Commission announcementsSEC Announces Agenda and Panelists for Roundtable on Money Market Funds and Systemic RiskThe Securities and Exchange Commission today announced the panelists and final agenda for the Money Market Funds and Systemic Risk Roundtable to be held May 10. The roundtable will address:
The agenda and list of panelists can be found on the SEC website. The roundtable discussion will begin at 2 p.m. and be available by webcast on the SEC website. The webcast also will be archived for later viewing. Public seating to view the webcast will be available in the auditorium at the SEC’s headquarters at 100 F Street NE in Washington, D.C. Members of the public who wish to provide their views on the matters to be considered at the roundtable discussion may submit comments to the comment file for the President’s Working Group Report on Money Market Fund Reform, as noted below. Comments to the Commission may be submitted by any of the following methods: Electronic Comments
Paper Comments
All submissions should refer to File Number 4-619. To help process and review your submissions more efficiently, please use only one method. The Commission will post all public comments on the SEC website. Please note that all comments received will be posted without change. The Commission does not edit personal identifying information from submissions. Submit only information desired to be made available publicly. (Press Rel. 2011-107) Enforcement proceedingsIn the Matter of Anthony FareriAn Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Anthony Fareri, Admin. Proc. No. 3-14310. The Order Instituting Proceedings (OIP) alleged that Fareri participated in a collusive scheme to manipulate the market for two penny stocks. It further stated that, on Feb. 28, 2011, the U.S. District Court for the Southern District of Florida entered a final judgment against Fareri, permanently enjoining him from future violations of several antifraud provisions of the federal securities laws. The Default Order finds the allegations of the OIP to be true. It concludes that, pursuant to Section 15(b)(6)(A) of the Exchange Act of 1934, it is in the public interest to bar Fareri from association with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent. (Rel. 34-64413; File No. 3-14310) In the Matter of Guy Albert De ChimayOn May 5, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Guy Albert de Chimay. The Order finds that according to allegations in the Commission’s related civil injunctive action, entitled Securities and Exchange Commission v. Chimay Capital Management, Inc. and Guy Albert de Chimay, Civil Action Number 1:10-cv-04582 (SDNY) (WHP), Guy Albert de Chimay, age 47, allegedly misused and misappropriated investor funds, and allegedly falsely stated to investors that their funds would be invested and would earn returns of twelve percent. The Order finds that instead, Guy Albert de Chimay allegedly diverted $6 million of investor funds for his personal use, including subsidizing his lifestyle, to pay off counterparties to unrelated ventures, and to pay early investors who demanded return of their money. The Order further finds that in order to facilitate and then conceal his fraud, Guy Albert de Chimay allegedly falsified bank statements to reflect that he had millions of dollars at his disposal, most of it purportedly in offshore bank accounts. On January 31, 2011, in the related civil action, the United States District Court for the Southern District of New York permanently enjoined Guy Albert de Chimay from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Based on the above, the Order bars Guy Albert de Chimay from association with any broker, dealer, investment adviser, transfer agent, municipal securities dealer, municipal advisor, and nationally recognized statistical rating organization. Guy Albert de Chimay consented to the issuance of the Order without admitting or denying any of the findings except admitted the entry of the partial judgment. (Rel. IA-3196; File No. 3-14373) Commission Revokes Registration of Securities of Global Energy Group, Inc. for Failure to Make Required Periodic FilingsOn May 6, 2011, the Commission revoked the registration of each class of registered securities of Global Energy Group, Inc. (GENG) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, GENG consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Global Energy Group, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of GENG’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against GENG in In the Matter of Circuit Systems, Inc., et al., Administrative Proceeding File No. 3-14316. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Circuit Systems, Inc., et al., Administrative Proceeding File No. 3-14316, Exchange Act Release No. 64171 (April 4, 2011). (Rel. 34-64416; File No. 3-14316) In the Matter of Circuit Systems, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in Circuit Systems, Inc., Admin. Proc. No. 3-14316. The Order Instituting Proceedings alleged that five Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission (Commission). The Default Order finds these allegations to be true as to four Respondents and revokes the registrations of each class of registered securities of Circuit Systems, Inc., Integrated Medical Resources, Inc., iNTELEFILM Corp., and LOT$OFF Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has been stayed as to Global Energy Group, Inc., as the Commission has approved its Offer of Settlement. (Rel. 34-64417; File No. 3-14316) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the EDGX Exchange (SR-EDGX-2011-13) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64392) A proposed rule change filed by the EDGA Exchange (SR-EDGA-2011-14) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64393) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO,
63136, 3145532000 - 20,000,000 ($1,200,100,000.00) Equity,
(File 333-173933 - May. 5) (BR. 10B)
S-1 CNS RESPONSE, INC., 85 ENTERPRISE, SUITE 410,, ALISO VIEJO, CA, 92656,
(714) 545 3288 - 0 ($20,125,000.00) Equity, (File 333-173934 - May. 5)
(BR. 09A)
S-4 NEWS AMERICA INC, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036,
0 ($2,500,000,000.00) Non-Convertible Debt, (File 333-173935 - May. 5)
(BR. 05B)
S-3 ISTA PHARMACEUTICALS INC, 50 TECHNOLOGY DRIVE, IRVINE, CA, 92618,
949-788-6000 - 0 ($150,000,000.00) Unallocated (Universal) Shelf,
(File 333-173936 - May. 5) (BR. 01A)
S-3 RAMTRON INTERNATIONAL CORP, 1850 RAMTRON DR, COLORADO SPRINGS, CO,
80921, 7194817000 - 0 ($30,900,000.00) Equity, (File 333-173937 -
May. 5) (BR. 10C)
S-3 SILICON IMAGE INC, 1060 EAST ARQUES AVE, SUNNYVALE, CA, 94085,
4086164000 - 1,477,291 ($11,626,281.00) Equity, (File 333-173938 -
May. 5) (BR. 10C)
S-8 SHUTTERFLY INC, 2800 BRIDGE PARKWAY, REDWOOD CITY, CA, 94065,
650-610-5200 - 1,409,701 ($7,541,900.00) Equity, (File 333-173939 -
May. 5) (BR. 11C)
S-3D ENTERPRISE BANCORP INC /MA/, 222 MERRIMACK ST, LOWELL, MA, 01852,
9784599000 - 0 ($4,950,000.00) Equity, (File 333-173940 - May. 5)
(BR. 07A)
S-1 SINOCOM PHARMACEUTICAL, INC., ROOM 3, 21/F, FAR EAST CONSORTIUM BLDG,
121 DES VOEUX ROAD, CENTRAL, K3, 99999, 852- 2159-7863 -
0 ($57,500,000.00) ADRs/ADSs, (File 333-173941 - May. 5) (BR. 09)
S-3D PROVIDENT FINANCIAL SERVICES INC, 830 BERGEN AVENUE, JERSEY CITY, NJ,
07306, 2013331000 - 0 ($14,400,000.00) Equity, (File 333-173942 -
May. 5) (BR. 07B)
S-8 HOME PROPERTIES INC, 850 CLINTON SQ, ROCHESTER, NY, 14604, 5855464900 -
3,507,196 ($219,234,822.00) Equity, (File 333-173947 - May. 5) (BR. 08B)
S-4 Swift Services Holdings, Inc., 2200 SOUTH 75TH AVENUE, PHOENIX, AZ,
85043, (602) 269-9700 - 0 ($500,000,000.00) Non-Convertible Debt,
(File 333-173948 - May. 5) (BR. 05)
S-1 Astra Ventures, Inc., 3090 GORDONVALE STREET, THUNDER BAY, A6, P7K 1B8,
807-333-0064 - 2,900,000 ($29,000.00) Equity, (File 333-173949 -
May. 5) (BR. )
S-3ASR LIBERTY PROPERTY TRUST, 500 CHESTERFIELD PARKWAY, MALVERN, PA, 19355,
6106481700 - 0 ($105,690,000.00) Equity, (File 333-173950 - May. 5)
(BR. 08B)
S-3ASR LIBERTY PROPERTY LIMITED PARTNERSHIP, 500 CHESTERFIELD PARKWAY,
MALVERN, PA, 19355, 6106481700 - 0 ($0.00) Other, (File 333-173951 -
May. 5) (BR. 08B)
S-1 CONVERGEX INC., 1633 BROADWAY, 48TH FLOOR, NEW YORK, NY, 10019,
800 367 8998 - 0 ($400,000,000.00) Equity, (File 333-173952 - May. 5)
(BR. )
S-3ASR Ancestry.com Inc., 360 WEST 4800 NORTH, PROVO, UT, 84604,
801-705-7000 - 0 ($0.00) Equity, (File 333-173953 - May. 5) (BR. 03A)
S-4 Florida East Coast Railway Corp., 7411 FULLERTON STREET, SUITE 100,
JACKSONVILLE, FL, 32256, 800-342-1131 -
0 ($475,000,000.00) Non-Convertible Debt, (File 333-173954 - May. 5)
(BR. )
S-8 MOLEX INC, 2222 WELLINGTON CT, LISLE, IL, 60532, 6309694550 -
0 ($4,268,963.00) Equity, (File 333-173955 - May. 5) (BR. 10B)
S-8 NETLOGIC MICROSYSTEMS INC, 1875 CHARLESTON ROAD, MOUNTAIN VIEW, CA,
94043, 6509616676 - 400,000 ($16,132,000.00) Equity, (File 333-173956 -
May. 5) (BR. 10B)
S-1 Talon Therapeutics, Inc., 7000 SHORELINE COURT, SUITE 370,
SOUTH SAN FRANCISCO, CA, 94080, 650-588-6404 - 0 ($942,167.03) Equity,
(File 333-173957 - May. 5) (BR. 01A)
S-1 SINOCOM PHARMACEUTICAL, INC., ROOM 3, 21/F, FAR EAST CONSORTIUM BLDG,
121 DES VOEUX ROAD, CENTRAL, K3, 99999, 852- 2159-7863 -
0 ($15,000,000.00) Equity, (File 333-173958 - May. 5) (BR. 09)
S-3 ONCOR ELECTRIC DELIVERY CO LLC, 1616 WOODALL RODGERS FWY, DALLAS, TX,
75202, 214-486-2000 - 0 ($1.00) Non-Convertible Debt,
(File 333-173959 - May. 5) (BR. 02C)
S-8 CIBER INC, 6363 SOUTH FIDDLER'S GREEN CIRCLE, STE 1400,
GREENWOOD VILLAGE, CO, 80111, 3032200100 - 0 ($11,228,500.00) Equity,
(File 333-173960 - May. 5) (BR. 03A)
S-8 Perfumania Holdings, Inc., 35 SAWGRASS DRIVE, SUITE 2, BELLPORT, NY,
11713, 6318664100 - 2,300,000 ($24,150,000.00) Equity,
(File 333-173961 - May. 5) (BR. 02C)
F-1 YOUKU.COM INC., 5TH FLOOR, SINOSTEEL PLAZA, 8 HAIDIAN STREET, BEIJING,
F4, 100080, 86-10-58851881 - 0 ($600,000,000.00) ADRs/ADSs,
(File 333-173963 - May. 5) (BR. 11A)
S-8 NEWFIELD EXPLORATION CO /DE/, 363 NORTH SAM HOUSTON PARKWAY EAST,
SUITE 100, HOUSTON, TX, 77060, 281-847-6000 -
7,300,000 ($514,796,000.00) Equity, (File 333-173964 - May. 5) (BR. 04B)
S-3 HUGHES Telematics, Inc., 2002 SUMMIT BOULEVARD, SUITE 1800, ATLANTA,
GA, 30319, 404-573-5800 - 2,428,572 ($7,965,716.00) Equity,
(File 333-173965 - May. 5) (BR. 11A)
S-8 BADGER METER INC, 4545 WEST BROWN DEER ROAD, MILWAUKEE, WI, 53223,
4143715702 - 0 ($25,900,000.00) Equity, (File 333-173966 - May. 5)
(BR. 10A)
S-8 HEALTH DISCOVERY CORP, 2 EAST BRYAN STREET, SUITE #601, SAVANNAH, GA,
31401, (912) 443-1987 - 0 ($325,000.00) Equity, (File 333-173968 -
May. 5) (BR. 03B)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
1ST CONSTITUTION BANCORP NJ 2.02,9.01 05/05/11
ABBOTT LABORATORIES IL 5.07 04/29/11
ABERCROMBIE & FITCH CO /DE/ DE 2.02,7.01,9.01 05/05/11
ABOVENET INC DE 2.02,7.01,9.01 05/05/11
ACCURAY INC DE 2.02,9.01 05/05/11
ACCURAY INC DE 8.01 05/05/11
ACNB CORP PA 5.07,7.01,9.01 05/03/11
ACORDA THERAPEUTICS INC 2.02,9.01 05/05/11
ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03, 05/05/11
3.02,8.01,9.01
Addus HomeCare Corp DE 2.02,9.01 05/05/11
Advance America, Cash Advance Centers DE 5.02,9.01 05/05/11
ADVANCED BATTERY TECHNOLOGIES, INC. DE 1.01,9.01 01/05/11 AMEND
ADVANCED ENERGY INDUSTRIES INC DE 5.07 05/04/11
ADVISORY BOARD CO DE 2.02,9.01 05/05/11
AECOM TECHNOLOGY CORP DE 2.02,9.01 05/05/11
AEROPOSTALE INC 7.01,9.01 05/05/11
Affinia Group Intermediate Holdings I DE 2.02,9.01 05/05/11
AFLAC INC GA 5.07 05/02/11
AGL RESOURCES INC GA 5.07 05/03/11
AIR METHODS CORP DE 2.02,9.01 05/05/11
AIRGAS INC DE 2.02,9.01 05/05/11
AIRGAS INC DE 8.01,9.01 05/05/11
AKORN INC LA 2.01,9.01 05/01/11
ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 05/04/11
ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 05/04/11
ALIMERA SCIENCES INC DE 2.02,7.01,9.01 05/05/11
ALLEGHENY TECHNOLOGIES INC DE 5.02,5.07,8.01, 04/29/11
9.01
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/05/11
ALLIANT ENERGY CORP WI 2.02,9.01 05/05/11
ALLIANT TECHSYSTEMS INC DE 2.02,9.01 05/05/11
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,7.01,9.01 05/05/11
AlphaMetrix Managed Futures LLC (Aspe DE 3.02 05/02/11
ALR TECHNOLOGIES INC 7.01,9.01 05/05/11
ALTAIR NANOTECHNOLOGIES INC 2.02,9.01 05/05/11
Altra Holdings, Inc. DE 5.07 04/28/11 AMEND
ALTRIA GROUP, INC. VA 8.01,9.01 05/02/11
AMEREN CORP MO 2.02,8.01,9.01 05/05/11
AMERIANA BANCORP IN 2.02,9.01 05/05/11
AMERICAN EXPRESS CO NY 5.07 05/02/11
AMERICAN EXPRESS CO NY 5.02 04/20/11 AMEND
American Railcar Industries, Inc. ND 7.01,9.01 05/04/11
AMETEK INC/ DE 5.07 05/03/11
AMN HEALTHCARE SERVICES INC DE 2.02,9.01 05/05/11
AMYRIS, INC. DE 2.02,9.01 05/05/11
Anacor Pharmaceuticals Inc DE 2.02,9.01 05/05/11
ANADYS PHARMACEUTICALS INC 2.02,9.01 05/05/11
ANALYSTS INTERNATIONAL CORP 2.02,9.01 05/05/11
ANALYSTS INTERNATIONAL CORP 5.02,9.01 05/04/11
ANDERSONS INC OH 2.02 05/04/11
ANIKA THERAPEUTICS INC MA 2.02,9.01 05/04/11
ANSYS INC DE 2.02,9.01 05/05/11
ante5, Inc. DE 2.03,9.01 05/02/11
APD ANTIQUITIES, INC. NV 1.01,9.01 04/30/11
Apple REIT Ten, Inc. VA 1.02 04/29/11
ARGENTEX MINING CORP DE 8.01,9.01 05/05/11
Argo Group International Holdings, Lt 5.07 05/03/11
ARQULE INC DE 2.02,9.01 05/05/11
Ascena Retail Group, Inc. DE 2.02,9.01 05/05/11
ASSISTED LIVING CONCEPTS INC NV 5.07 05/02/11
ASTORIA FINANCIAL CORP DE 2.02,9.01 05/05/11
AT&T INC. DE 5.07 04/29/11
ATHERSYS, INC / NEW DE 2.02,9.01 05/05/11
ATLANTIC AMERICAN CORP GA 5.07 05/05/11
AUTHENTEC INC DE 2.02,9.01 05/05/11
AUTONATION, INC. DE 5.07 05/04/11
AVI BIOPHARMA INC OR 2.02,5.02,8.01, 05/02/11
9.01
AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 05/05/11
AvStar Aviation Group, Inc. CO 1.01,2.02,3.02, 01/31/11
9.01
Bacterin International Holdings, Inc. DE 7.01,9.01 05/05/11
BADGER METER INC WI 5.02,5.07,9.01 04/29/11
BALDWIN & LYONS INC IN 2.02,7.01,9.01 03/31/11
BANCORP RHODE ISLAND INC 5.02,9.01 04/29/11
BASSETT FURNITURE INDUSTRIES INC VA 2.01,9.01 05/02/11
BB&T CORP NC 7.01,9.01 05/05/11
BERKSHIRE HILLS BANCORP INC 5.02,9.01 05/05/11
BEST BUY CO INC MN 7.01,9.01 05/05/11
BGC Partners, Inc. DE 2.02,9.01 05/05/11
BIOCLINICA INC DE 8.01,9.01 05/05/11
Biodel Inc 2.02,9.01 05/05/11
BIOLASE TECHNOLOGY INC DE 7.01,9.01 05/05/11
BioMed Realty Trust Inc MD 2.02,9.01 05/04/11
BIOTIME INC CA 2.02,9.01 05/05/11
BJS WHOLESALE CLUB INC DE 2.02,9.01 05/05/11
BLOUNT INTERNATIONAL INC DE 2.02,9.01 05/05/11
BLUE COAT SYSTEMS INC DE 2.02,5.02,9.01 05/04/11
Blue Earth, Inc. DE 8.01,9.01 05/04/11
BLUE NILE INC DE 2.02,9.01 05/05/11
BlueLinx Holdings Inc. DE 2.02,9.01 05/05/11
BODISEN BIOTECH, INC DE 5.02 04/28/11
BofI Holding, Inc. DE 2.02,9.01 05/05/11
BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 05/04/11
BOISE INC. DE 8.01 05/04/11
BONANZA GOLD CORP. DE 1.01,9.01 05/04/11
BRE PROPERTIES INC /MD/ MD 8.01,9.01 05/05/11
BROOKS AUTOMATION INC DE 2.02,9.01 05/05/11
BSQUARE CORP /WA WA 2.02,9.01 05/05/11
BUILD A BEAR WORKSHOP INC DE 2.02,9.01 05/05/11
BUTLER NATIONAL CORP DE 8.01,9.01 05/05/11
CABOT OIL & GAS CORP DE 5.07 05/03/11
CADENCE PHARMACEUTICALS INC 2.02,9.01 05/05/11
CAI International, Inc. 8.01 05/03/11
CALIFORNIA PIZZA KITCHEN, INC. DE 2.02,9.01 05/05/11
CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 05/04/11
CAMBREX CORP DE 2.02,9.01 05/05/11
CAMERON INTERNATIONAL CORP DE 5.07 05/03/11
CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 05/04/11
CapLease, Inc. 2.02,9.01 05/05/11
CAPSTEAD MORTGAGE CORP MD 1.01,2.02,5.07, 05/04/11
9.01
Carbon Natural Gas Co DE 5.03,9.01 05/02/11
Cardiogenesis Corp /CA CA 2.02,8.01,9.01 05/04/11
CareFusion Corp DE 2.02,7.01,9.01 05/05/11
Caribou Coffee Company, Inc. MN 2.02,9.01 05/05/11
CARRIAGE SERVICES INC DE 1.01,8.01,9.01 05/03/11
CATALYST HEALTH SOLUTIONS, INC. DE 2.02,9.01 05/04/11
CAVCO INDUSTRIES INC DE 2.02,9.01 05/05/11
CB RICHARD ELLIS GROUP INC DE 7.01,9.01 05/05/11
CBOE Holdings, Inc. DE 2.02,9.01 05/05/11
CDEX INC NV 1.01,9.01 04/29/11
CEC ENTERTAINMENT INC KS 2.02,5.07,8.01, 05/03/11
9.01
CEDAR FAIR L P DE 2.02,9.01 05/05/11
CEDAR SHOPPING CENTERS INC MD 2.02,7.01,9.01 05/05/11
CENTERPOINT ENERGY INC 2.02,9.01 05/05/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02,7.01,9.01 05/05/11
CENTURYLINK, INC LA 2.02,9.01 05/05/11
CEVA INC DE 8.01 05/05/11
CF Industries Holdings, Inc. DE 2.02,9.01 05/05/11
CH2M HILL COMPANIES LTD OR 5.07,8.01 05/02/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/04/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/04/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/04/11
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/05/11
Chemtura CORP DE 2.02,9.01 05/05/11
CHESAPEAKE ENERGY CORP OK 7.01,8.01,9.01 05/02/11
China Advanced Construction Materials DE 5.02,9.01 05/04/11
China BCT Pharmacy Group, Inc. DE 5.02 04/29/11
China Environmental Protection Inc. NV 4.01,9.01 01/21/11 AMEND
CHINA GENGSHENG MINERALS, INC. NV 8.01,9.01 05/05/11
CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 05/05/11
CHINA VALVES TECHNOLOGY, INC NV 5.02,9.01 05/05/11
ChinaNet Online Holdings, Inc. NV 8.01,9.01 05/04/11
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 05/05/11
CHYRON CORP NY 2.02,9.01 05/05/11
CIGNA CORP DE 2.02 05/05/11
CINCINNATI BELL INC OH 2.02,7.01,9.01 05/05/11
CINCINNATI BELL INC OH 5.02,9.01 05/03/11
Cinemark Holdings, Inc. DE 2.02,7.01,9.01 05/05/11
CIRCOR INTERNATIONAL INC DE 1.01,1.02,2.02, 05/02/11
2.03,9.01
CITIZENS REPUBLIC BANCORP, INC. MI 7.01,9.01 05/04/11
CLAYTON WILLIAMS ENERGY INC /DE DE 5.07 05/04/11
CLEAN POWER CONCEPTS INC. 1.01,9.01 04/29/11
Clearwater Paper Corp DE 2.02,9.01 05/05/11
CNS RESPONSE, INC. DE 5.02 04/29/11
COASTAL CARIBBEAN OILS & MINERALS LTD D0 4.01 05/05/11
COATES INTERNATIONAL LTD \DE\ DE 8.01,9.01 05/03/11
CODEXIS INC 2.02,9.01 05/05/11
Cogdell Spencer Inc. MD 2.02,9.01 05/05/11
COGENT COMMUNICATIONS GROUP INC 2.02,9.01 05/05/11
Cogo Group, Inc. MD 2.02,9.01 05/05/11
COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 05/05/11
Colony Financial, Inc. MD 5.02,5.07 05/02/11
COLUMBIA LABORATORIES INC DE 2.02,5.07,7.01, 05/03/11
8.01,9.01
COLUMBIA LABORATORIES INC DE 7.01,9.01 05/05/11
COMFORT SYSTEMS USA INC 2.02,8.01,9.01 05/03/11
COMMERCEFIRST BANCORP INC MD 5.07 05/04/11
COMMUNITY SHORES BANK CORP MI 2.02,9.01 05/04/11
COMVERGE, INC. DE 2.02,9.01 05/05/11
CONCHO RESOURCES INC DE 2.02,9.01 05/04/11
Consolidated Communications Holdings, DE 2.02,9.01 05/05/11
CONTINENTAL RESOURCES INC OK 2.02,7.01,9.01 05/04/11
CONTINUCARE CORP 2.02,9.01 05/05/11
Copano Energy, L.L.C. 2.02,9.01 05/05/11
CORELOGIC, INC. DE 2.02,9.01 05/05/11
CoreSite Realty Corp MD 2.02,9.01 05/05/11
CORRECTIONS CORP OF AMERICA MD 2.02,9.01 05/04/11
COUSINS PROPERTIES INC GA 5.07 05/03/11
COVANCE INC DE 2.02,9.01 05/04/11
COVENTRY HEALTH CARE INC DE 5.02,9.01 05/05/11
CROSS COUNTRY HEALTHCARE INC DE 2.02,5.07,7.01, 05/04/11
9.01
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 05/05/11
CSP INC /MA/ MA 2.02,9.01 05/04/11
CSX CORP VA 5.02,5.07,9.01 05/05/11
CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 05/04/11
CVS CAREMARK CORP DE 2.02,9.01 05/05/11
CYTORI THERAPEUTICS, INC. DE 2.02 05/05/11
CYTRX CORP DE 2.02,9.01 05/05/11
DATA I/O CORP WA 1.01,2.01,3.02, 04/29/11
8.01,9.01
DAWSON GEOPHYSICAL CO TX 7.01,8.01,9.01 05/04/11
DAYSTAR TECHNOLOGIES INC DE 3.01,9.01 04/29/11
Delek US Holdings, Inc. 2.02,9.01 05/04/11
DELTEK, INC DE 2.02,9.01 05/05/11
DEMAND MEDIA INC. DE 2.02,9.01 05/05/11
DENBURY RESOURCES INC DE 2.02,9.01 05/05/11
DEPOMED INC CA 2.02,9.01 05/05/11
DESERT CAPITAL REIT INC MD 8.01 04/29/11
DEXCOM INC 1.01,8.01,9.01 05/04/11
DG FastChannel, Inc DE 2.02,9.01 05/05/11
DG FastChannel, Inc DE 1.01,9.01 05/02/11
Digimarc CORP OR 5.07 05/02/11
DIONEX CORP /DE CA 2.02,9.01 05/05/11
DIRECTV DE 2.02 05/05/11
DIRECTV HOLDINGS LLC DE 2.02 05/05/11
DISH Network CORP NV 5.07 05/05/11
DISH Network CORP NV 1.01,2.03,9.01 05/05/11
Dolby Laboratories, Inc. DE 2.02,9.01 05/05/11
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 05/05/11
DOMINOS PIZZA INC 2.02,9.01 05/05/11
DONEGAL GROUP INC DE 8.01,9.01 05/05/11
DORCHESTER MINERALS LP DE 2.02,7.01,9.01 05/05/11
DOT HILL SYSTEMS CORP DE 2.02,9.01 05/05/11
Dot VN, Inc. DE 1.01,8.01,9.01 05/01/11
DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 05/05/11
Dr Pepper Snapple Group, Inc. DE 7.01,9.01 05/05/11
DRIVETIME AUTOMOTIVE GROUP INC DE 7.01,9.01 05/04/11
DSP GROUP INC /DE/ DE 1.01,9.01 05/04/11
DUNE ENERGY INC DE 2.02,9.01 05/05/11
DUPONT E I DE NEMOURS & CO DE 8.01 04/29/11
DURECT CORP DE 2.02,9.01 05/05/11
DYNAVAX TECHNOLOGIES CORP DE 2.02,5.02,9.01 05/01/11
DYNEGY INC. DE 5.02,7.01,8.01, 05/04/11
9.01
DYNEX CAPITAL INC VA 2.02,9.01 05/05/11
EAGLE MATERIALS INC DE 2.02,9.01 05/05/11
EAGLE ROCK ENERGY PARTNERS L P DE 2.02,9.01 05/04/11
EARTHLINK INC DE 7.01,9.01 05/05/11
EARTHLINK INC DE 5.03,5.07,9.01 05/03/11
EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 05/05/11
Eastern Insurance Holdings, Inc. PA 2.02,9.01 05/05/11
ECHELON CORP DE 2.02,9.01 05/05/11
EchoStar CORP NV 5.07 05/05/11
EDGAR ONLINE INC DE 1.01,2.03,9.01 05/03/11
EDIETS COM INC DE 5.07 05/03/11
EDUCATION MANAGEMENT CORPORATION 2.04,5.02,9.01 04/29/11
EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 05/05/11
EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02,5.07,9.01 05/03/11
EL PASO CORP/DE DE 2.02,9.01 05/05/11
El Paso Pipeline Partners, L.P. DE 2.02,9.01 05/05/11
Emdeon Inc. DE 2.02,9.01 05/05/11
Emergent BioSolutions Inc. DE 2.02,9.01 05/05/11
EMERITUS CORP\WA\ WA 2.02,9.01 05/05/11
ENCORE WIRE CORP DE 5.07 05/03/11 AMEND
ENDOCYTE INC DE 2.02,9.01 05/05/11
Energy Transfer Equity, L.P. DE 2.02,9.01 05/04/11
Energy Transfer Partners, L.P. DE 2.02,9.01 05/04/11
Enstar Group LTD D0 5.02 04/20/11 AMEND
ENTEGRIS INC DE 5.05,5.07,9.01 05/04/11
ENTERPRISE BANCORP INC /MA/ MA 5.07 05/03/11
ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 05/05/11
ENVESTNET, INC. DE 2.02,9.01 05/05/11
EQUITY ONE, INC. 2.02,7.01,9.01 05/04/11
ERIE INDEMNITY CO PA 2.02,9.01 05/05/11
ESSA Bancorp, Inc. PA 8.01,9.01 05/04/11
ESSEX PROPERTY TRUST INC MD 2.02,9.01 03/31/11
Essex Rental Corp. DE 4.02,8.01,9.01 05/04/11
ESTEE LAUDER COMPANIES INC DE 2.02,9.01 05/05/11
EXAR CORP DE 2.02,9.01 05/05/11
EXELON CORP PA 5.07 05/03/11
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 05/04/11
EXTERRAN HOLDINGS INC. DE 2.02,9.01 05/05/11
EXTERRAN PARTNERS, L.P. DE 2.02,9.01 05/05/11
EZCORP INC DE 8.01,9.01 05/05/11
FARO TECHNOLOGIES INC FL 2.02,9.01 05/04/11
FBL FINANCIAL GROUP INC IA 1.01,2.03,9.01 05/04/11
Federal Home Loan Bank of Atlanta X1 2.03 05/05/11
Federal Home Loan Bank of Boston X1 2.03 05/02/11
Federal Home Loan Bank of Chicago X1 2.03 05/02/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/03/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/02/11
Federal Home Loan Bank of New York X1 2.03,9.01 05/02/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/02/11
Federal Home Loan Bank of San Francis X1 2.03 05/02/11
Federal Home Loan Bank of Seattle 2.03 05/03/11
Federal Home Loan Bank of Topeka 2.03,9.01 05/02/11
FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 03/31/11
FINANCIAL INSTITUTIONS INC NY 5.07,7.01,8.01, 05/03/11
9.01
FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 05/05/11
FIRST MARINER BANCORP MD 5.07 05/03/11
FLIR SYSTEMS INC OR 5.07 04/29/11
FLUOR CORP DE 2.02,9.01 05/05/11
FNBH BANCORP INC MI 2.02,9.01 05/05/11
FOREST CITY ENTERPRISES INC OH 1.01,3.02,9.01 05/05/11
Fortegra Financial Corp DE 5.02 04/29/11
Fortress Investment Group LLC DE 2.02,9.01 05/05/11
Fortress Investment Group LLC DE 7.01 05/05/11
FORTUNE BRANDS INC DE 2.02,7.01,9.01 05/05/11
FreightCar America, Inc. DE 2.02,9.01 05/05/11
FRONTIER COMMUNICATIONS CORP DE 2.02,7.01,9.01 03/31/11
FRONTIER OIL CORP /NEW/ WY 2.02,9.01 05/05/11
FSP 303 East Wacker Drive Corp. 7.01,9.01 05/05/11
FSP 50 South Tenth Street Corp 7.01,9.01 05/05/11
FSP GALLERIA NORTH CORP 7.01,9.01 05/05/11
FSP PHOENIX TOWER CORP 7.01,9.01 05/05/11
FTI CONSULTING INC MD 2.02,7.01,9.01 05/04/11
Fuel Systems Solutions, Inc. 2.02,9.01 05/05/11
FULTON FINANCIAL CORP PA 7.01,9.01 05/05/11
FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 05/04/11
Fushi Copperweld, Inc. NV 2.02,9.01 05/04/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 04/30/11
GAP INC DE 2.02,9.01 05/05/11
GARTNER INC DE 2.02,9.01 05/05/11
Gas Natural Inc. OH 1.01,2.03,9.01 05/03/11
GCI INC AK 2.02,9.01 05/04/11
GENERAC HOLDINGS INC. DE 2.02,9.01 05/05/11
GENERAL COMMUNICATION INC AK 2.02,9.01 05/04/11
General Motors Co 2.02,9.01 05/05/11
GENERAL STEEL HOLDINGS INC NV 1.01,9.01 04/29/11
GENTIVA HEALTH SERVICES INC DE 2.02,9.01 05/05/11
GEOGLOBAL RESOURCES INC. DE 8.01,9.01 05/04/11
GEORESOURCES INC CO 5.02 04/29/11
GEORGIA GULF CORP /DE/ DE 2.02,7.01,9.01 05/04/11
GLATFELTER P H CO PA 5.07 05/04/11
GLEACHER & COMPANY, INC. DE 2.02,9.01 05/05/11
GLOBAL GOLD CORP DE 3.02,5.05,8.01, 05/02/11
9.01
GLOBAL INDUSTRIES LTD LA 2.02,9.01 05/04/11
GLOBAL NUTECH, INC. 7.01,9.01 05/05/11
GLOBAL PARTNERS LP 2.02,7.01,9.01 05/05/11
Globalstar, Inc. DE 2.02,7.01,9.01 05/05/11
GOLDFIELD CORP DE 8.01,9.01 04/20/11
GOLDMAN SACHS GROUP INC DE 9.01 05/05/11
Golub Capital BDC, Inc. DE 1.01,9.01 05/03/11
Golub Capital BDC, Inc. DE 2.02,9.01 05/05/11
GOODRICH PETROLEUM CORP DE 2.02,9.01 05/05/11
Government Properties Income Trust MD 2.02,9.01 05/05/11
GP STRATEGIES CORP DE 2.02,9.01 05/05/11
GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 05/04/11
GRANITE CONSTRUCTION INC DE 2.02,9.01 05/04/11
Graymark Healthcare, Inc. OK 1.01,3.02,9.01 04/30/11
Great Wolf Resorts, Inc. DE 2.02,9.01 05/04/11
GRIFFON CORP DE 2.02,9.01 05/05/11
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,2.03,7.01, 04/29/11
9.01
GSI TECHNOLOGY INC 2.02,9.01 05/05/11
Guaranty Bancorp DE 5.02,5.07,8.01, 05/03/11
9.01
Guidance Software, Inc. DE 2.02,7.01,9.01 05/05/11
Guidance Software, Inc. DE 5.07 05/03/11
GULFPORT ENERGY CORP DE 2.02,9.01 05/05/11
H&E Equipment Services, Inc. DE 2.02,8.01,9.01 05/05/11
HANSEN NATURAL CORP DE 2.02,9.01 05/05/11
HARLAND CLARKE HOLDINGS CORP DE 2.02,9.01 05/05/11
HARLEY DAVIDSON INC WI 5.02,5.07,9.01 04/30/11
Harry & David Holdings, Inc. DE 1.01 05/02/11
Hatteras Financial Corp 5.07 05/04/11
HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 03/31/11
HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 05/05/11
HeartWare International, Inc. DE 2.02,9.01 05/05/11
Helios & Matheson North America Inc. DE 5.07 05/02/11
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 05/05/11
HERSHA HOSPITALITY TRUST MD 2.02,9.01 05/04/11
HESKA CORP DE 5.07 05/03/11
HESKA CORP DE 2.02,9.01 03/31/11
Highpower International, Inc. DE 5.02,9.01 04/30/11
Hines Global REIT, Inc. MD 7.01,9.01 05/05/11
HOLLY CORP DE 2.02,9.01 05/05/11
HOME BANCORP, INC. LA 5.07 05/04/11
Home Federal Bancorp, Inc. of Louisia LA 2.02,7.01,9.01 05/04/11
HOME PROPERTIES INC MD 5.02,5.07,9.01 05/02/11
HOPFED BANCORP INC DE 2.02,9.01 05/04/11
HORIZON BANCORP /IN/ IN 7.01,9.01 05/05/11
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 05/05/11
HOST HOTELS & RESORTS, INC. MD 8.01,9.01 05/05/11
Houston Wire & Cable CO 2.02,9.01 05/05/11
HOVNANIAN ENTERPRISES INC DE 1.01,2.03,8.01, 05/05/11
9.01
HSBC USA INC /MD/ MD 8.01 05/05/11
HUBBELL INC CT 5.02,5.07,9.01 05/02/11
Hughes Communications, Inc. DE 2.02,9.01 05/05/11
Hughes Network Systems, LLC DE 2.02,9.01 05/05/11
Huifeng Bio-Pharmaceutical Technology NV 5.02 02/25/11
Huntsman CORP DE 2.02,9.01 05/05/11
ICF International, Inc. DE 2.02,9.01 05/05/11
IDACORP INC ID 2.02,7.01,9.01 05/05/11
IDENTIVE GROUP, INC. DE 5.02,9.01 05/04/11
IDEXX LABORATORIES INC /DE DE 5.07 05/04/11
IEC ELECTRONICS CORP DE 2.02,9.01 05/03/11
IGATE CORP PA 2.02,9.01 05/05/11
IGATE CORP PA 1.01,2.03,9.01 04/29/11
iGo, Inc. DE 2.02,9.01 05/05/11
IMAGE SENSING SYSTEMS INC MN 2.02,9.01 05/05/11
IMMERSION CORP DE 2.02,9.01 05/05/11
IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 04/15/11
inContact, Inc. DE 2.02,9.01 05/05/11
INDEPENDENCE REALTY TRUST, INC MD 1.01,2.01,2.03, 04/29/11
3.02,9.01
INDEPENDENT BANK CORP MA 8.01 05/03/11
INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 05/05/11
Inland Diversified Real Estate Trust, MD 1.01,2.01,2.03, 04/29/11
8.01,9.01
INLAND REAL ESTATE CORP MD 5.02,9.01 05/05/11
INNERWORKINGS INC 2.02,9.01 05/05/11
INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 05/04/11
INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.02,9.01 05/05/11
INTEGRAMED AMERICA INC DE 7.01,9.01 05/05/11
INTEGRAMED AMERICA INC DE 2.02,9.01 05/05/11 AMEND
INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 05/04/11
INTELLIGENT COMMUNICATION ENTERPRISE PA 1.01,7.01,9.01 05/05/11
INTERNATIONAL GAME TECHNOLOGY NV 7.01,9.01 05/05/11
INTERNET CAPITAL GROUP INC DE 2.02,9.01 05/05/11
Intrepid Potash, Inc. DE 2.02,9.01 05/05/11 AMEND
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 05/05/11
IRIDEX CORP DE 2.02,9.01 05/05/11
Iridium Communications Inc. DE 3.02 04/29/11
Iridium Communications Inc. DE 5.07,7.01,9.01 05/04/11
ISIS PHARMACEUTICALS INC DE 2.02,9.01 05/05/11
ISTA PHARMACEUTICALS INC DE 2.02,9.01 05/04/11
ITC DELTACOM INC DE 8.01,9.01 05/05/11
iTech Medical, Inc. DE 7.01,9.01 05/05/11
ITP Energy Corp 1.01,2.01,3.02, 04/29/11
4.01,5.01,5.02,
5.03,5.06,9.01
ITRON INC /WA/ WA 5.07 05/03/11
ITT EDUCATIONAL SERVICES INC DE 5.07 05/03/11
Iveda Solutions, Inc. NV 1.01,2.01,9.01 04/30/11
J C PENNEY CO INC DE 1.01,2.02,2.03, 04/29/11
9.01
KAMAN CORP CT 2.02,9.01 05/05/11
Kearny Financial Corp. X1 2.02,9.01 05/04/11
KELLOGG CO DE 5.07 04/29/11
KENDLE INTERNATIONAL INC OH 1.01,2.03,3.03, 05/03/11
8.01,9.01
KENEXA CORP 2.02,9.01 05/03/11
KENSEY NASH CORP DE 2.02,9.01 05/05/11
KIMBALL INTERNATIONAL INC IN 2.02,9.01 05/05/11
KIRKLAND'S, INC 2.02,9.01 05/05/11
KITE REALTY GROUP TRUST MD 2.02,5.07,9.01 05/05/11
KLA TENCOR CORP DE 8.01,9.01 05/05/11
KNOT INC DE 2.02,9.01 05/05/11
Kodiak Oil & Gas Corp B0 2.02,9.01 05/05/11
KOHLS Corp WI 2.02,9.01 05/05/11
KOPIN CORP DE 5.07 04/29/11
KRAFT FOODS INC VA 2.02,9.01 05/05/11
Kraton Performance Polymers, Inc. DE 2.02,9.01 05/05/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,8.01 05/05/11
L & L ENERGY, INC. NV 5.02,9.01 05/04/11
L-1 IDENTITY SOLUTIONS, INC. DE 8.01 05/04/11
LABARGE INC DE 2.02,9.01 05/05/11
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/05/11
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 05/05/11
LAKES ENTERTAINMENT INC MN 7.01,9.01 05/05/11
LAM RESEARCH CORP DE 8.01,9.01 05/05/11
LANTRONIX INC DE 2.02,9.01 05/05/11
Lawson Software, Inc. DE 1.01,9.01 04/29/11
LEE ENTERPRISES, INC DE 7.01,9.01 05/05/11
LEUCADIA NATIONAL CORP NY 8.01,9.01 05/05/11
Liberty Global, Inc. 2.02,7.01 05/05/11
Liberty Global, Inc. 2.02,7.01 05/05/11
LIBERTY SILVER CORP NV 5.02,9.01 04/19/11
LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 05/04/11
LIFETIME BRANDS, INC DE 2.02,9.01 05/05/11
Limelight Networks, Inc. DE 2.02,9.01 05/05/11
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,5.02,5.07, 04/29/11
9.01
LINCOLN ELECTRIC HOLDINGS INC OH 5.03,5.07,9.01 04/29/11
LINN ENERGY, LLC DE 1.01,2.03 05/05/11
LIQUIDITY SERVICES INC 2.02,9.01 05/05/11
LITTELFUSE INC /DE DE 2.02,9.01 05/05/11
Live Nation Entertainment, Inc. DE 2.02,9.01 05/05/11
LIXTE BIOTECHNOLOGY HOLDINGS, INC. DE 5.02 05/02/11
LOCAL.COM DE 1.01,9.01 04/29/11
LSB INDUSTRIES INC DE 2.02,9.01 05/05/11
LTC PROPERTIES INC MD 1.01,9.01 05/05/11
M & F WORLDWIDE CORP DE 2.02,9.01 05/05/11
MACATAWA BANK CORP MI 7.01 05/05/11
MACATAWA BANK CORP MI 8.01,9.01 05/05/11
MACC PRIVATE EQUITIES INC DE 1.01,5.02,9.01 04/30/11
MACERICH CO MD 2.02,7.01,9.01 05/05/11
Macy's, Inc. DE 2.02,9.01 05/05/11
MAGNUM HUNTER RESOURCES CORP DE 2.01,2.03,3.02, 04/29/11
3.03,5.02,5.03,
Maiden Holdings, Ltd. D0 2.02,8.01,9.01 05/04/11
Main Street Capital CORP MD 2.02,9.01 05/05/11
MANITOWOC CO INC WI 5.07 05/03/11
MANPOWER INC /WI/ WI 1.01,5.02,5.07, 05/03/11
9.01
MARCHEX INC DE 2.02,9.01 05/05/11
MARLIN BUSINESS SERVICES CORP 2.02,9.01 05/05/11
MARTEN TRANSPORT LTD DE 5.02,5.07,9.01 05/03/11
MARVELL TECHNOLOGY GROUP LTD D0 5.02 04/29/11
MATERION Corp 5.02,5.03,5.07, 05/04/11
9.01
MAXYGEN INC DE 2.02,9.01 05/05/11
MCGRATH RENTCORP CA 2.02,9.01 05/05/11
MCKESSON CORP DE 7.01,9.01 05/05/11
MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 05/05/11
MEADWESTVACO Corp DE 8.01 05/02/11
Medical Billing Assistance, Inc. CO 1.01,4.01,5.02, 04/29/11
9.01
MEDICAL PROPERTIES TRUST INC 2.02,9.01 05/05/11
MEDICIS PHARMACEUTICAL CORP DE 2.02,9.01 05/05/11
MEDNAX, INC. FL 5.07 05/05/11
MENS WEARHOUSE INC TX 2.02,9.01 05/05/11
MENTOR GRAPHICS CORP OR 2.02,8.01,9.01 05/05/11
MERCADOLIBRE INC 2.02,7.01,9.01 05/04/11
MERCER INTERNATIONAL INC. WA 2.02,9.01 05/05/11
MICHAEL BAKER CORP PA 2.02,9.01 05/05/11
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 05/05/11
MICROVISION INC DE 2.02,9.01 05/05/11
MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 05/05/11
MIDAS INC DE 2.02 05/05/11
MINDEN BANCORP, INC. LA 2.02,9.01 05/04/11
MKS INSTRUMENTS INC MA 5.07 05/05/11 AMEND
MOBILE MINI INC DE 2.02,9.01 05/05/11
MOD PAC CORP NY 5.07,8.01,9.01 05/04/11
MOHAWK INDUSTRIES INC DE 2.02,9.01 05/05/11
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 05/04/11
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 05/05/11
MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 05/05/11
MONTPELIER RE HOLDINGS LTD 1.01,9.01 05/03/11
Morgans Hotel Group Co. DE 2.01,9.01 05/03/11
Motorola Solutions, Inc. DE 5.07,8.01 05/02/11
MOVE INC DE 2.02,9.01 05/05/11
MSCI Inc. DE 2.02,9.01 05/05/11
MTR GAMING GROUP INC DE 2.02,9.01 05/05/11
MTS SYSTEMS CORP MN 2.02,9.01 05/05/11
MULTI FINELINE ELECTRONIX INC 2.02,9.01 05/05/11
MWI Veterinary Supply, Inc. DE 2.02,9.01 05/05/11
NABI BIOPHARMACEUTICALS DE 2.02,9.01 05/05/11
National CineMedia, Inc. DE 2.02,9.01 05/05/11
NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 03/31/11
NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 05/05/11
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 05/05/11
NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 03/31/11
NATIONAL PENN BANCSHARES INC PA 7.01,9.01 05/05/11
NATIONAL RESEARCH CORP WI 2.02,9.01 05/03/11
NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 05/05/11
NATIONWIDE HEALTH PROPERTIES INC MD 2.02,9.01 05/05/11
NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 05/04/11
Naugatuck Valley Financial Corp X1 2.02,9.01 05/04/11
NBT BANCORP INC DE 5.07 05/03/11
NEAH POWER SYSTEMS, INC. NV 8.01,9.01 05/04/11
Neiman Marcus, Inc. DE 2.02,7.01 05/05/11
NEOPHOTONICS CORP DE 2.02,9.01 05/05/11
NET 1 UEPS TECHNOLOGIES INC 2.02,7.01,9.01 05/05/11
NET TALK.COM, INC. FL 2.03 05/05/11
NetSpend Holdings, Inc. DE 2.02,9.01 05/05/11
New England Bancshares, Inc. 2.02,9.01 05/05/11
NEWPOWER HOLDINGS INC DE 8.01,9.01 05/04/11
NEWPOWER HOLDINGS INC DE 8.01,9.01 05/04/11
NEWPOWER HOLDINGS INC DE 8.01,9.01 05/04/11
NGP Capital Resources Co MD 2.02,9.01 05/05/11
NICHOLAS FINANCIAL INC FL 2.02,9.01 05/05/11
NN INC DE 2.02,9.01 03/31/11
NORDSTROM INC WA 7.01,9.01 05/05/11
NORTEL NETWORKS CORP 8.01 05/05/11
NORTHEAST UTILITIES MA 2.02,9.01 05/05/11
NorthStar Real Estate Income Trust, I MD 8.01 05/02/11
NORTHSTAR REALTY 2.02,5.02,9.01 04/29/11
NOVATEL WIRELESS INC DE 2.02,9.01 05/05/11
NRG ENERGY, INC. DE 2.02,9.01 05/05/11
NTELOS HOLDINGS CORP 2.02,9.01 05/04/11
NUVASIVE INC DE 2.02,9.01 05/04/11
NV ENERGY, INC. NV 2.02,9.01 05/05/11
NVR INC VA 5.07 05/03/11
Obagi Medical Products, Inc. DE 2.02,9.01 03/31/11
OCEAN BIO CHEM INC FL 3.01 05/03/11
OCEANFIRST FINANCIAL CORP DE 7.01,9.01 05/05/11
OCWEN FINANCIAL CORP FL 2.02,9.01 05/05/11
OGE ENERGY CORP. OK 2.02,9.01 05/05/11
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 05/05/11
OLIN CORP VA 9.01 02/28/11 AMEND
OM GROUP INC DE 2.02,9.01 05/05/11
Omagine, Inc. DE 1.01,3.02,9.01 05/04/11
ON SEMICONDUCTOR CORP DE 2.02,9.01 05/04/11
ONVIA INC DE 1.01,1.02,2.02, 05/04/11
3.03,5.03,7.01,
9.01
ORASURE TECHNOLOGIES INC DE 8.01,9.01 05/05/11
Orbitz Worldwide, Inc. DE 2.02,9.01 05/05/11
ORMAT TECHNOLOGIES, INC. DE 5.07 05/05/11
ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 05/05/11
ORTHOFIX INTERNATIONAL N V 2.02,9.01 05/05/11
ORTHOFIX INTERNATIONAL N V 1.01,2.03,9.01 05/04/11
ORTHOVITA INC 2.02,9.01 05/04/11
OVERSEAS SHIPHOLDING GROUP INC DE 2.02,8.01,9.01 05/03/11
OVERSTOCK.COM, INC DE 5.07,8.01,9.01 05/04/11
OWENS & MINOR INC/VA/ VA 5.03,5.07,8.01, 04/29/11
9.01
Owens Corning DE 8.01,9.01 05/02/11
Oxford Resource Partners LP DE 2.02,9.01 05/05/11
PACIFIC GAS & ELECTRIC Co CA 8.01 05/05/11
PAETEC Holding Corp. 2.02,9.01 05/05/11
PALMETTO BANCSHARES INC SC 2.02,9.01 05/04/11
PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 05/05/11
PC CONNECTION INC DE 2.02,9.01 05/05/11
PediatRx Inc. NV 8.01,9.01 05/05/11
PENN VIRGINIA CORP VA 2.02,7.01,9.01 05/04/11
PENSON WORLDWIDE INC DE 2.02,9.01 05/05/11
PEOPLES BANCORPORATION INC /SC/ SC 2.02,9.01 05/04/11
PEP BOYS MANNY MOE & JACK PA 1.01,8.01,9.01 05/05/11
PEREGRINE PHARMACEUTICALS INC DE 5.02 05/02/11
PERFICIENT INC DE 2.02,9.01 05/05/11
PERFORMANCE TECHNOLOGIES INC \DE\ DE 8.01 05/04/11
PERKINELMER INC MA 2.02,9.01 05/05/11
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 05/05/11
PETROHAWK ENERGY CORP DE 2.02,9.01 05/05/11
PG&E CORP CA 8.01 05/05/11
PGT, Inc. DE 2.02 05/05/11
PHOENIX COMPANIES INC/DE DE 2.02,9.01 05/03/11
PHOENIX COMPANIES INC/DE DE 2.02,9.01 05/05/11
PHYSICIANS FORMULA HOLDINGS, INC. DE 2.02,7.01,9.01 05/05/11
Piedmont Office Realty Trust, Inc. MD 2.02,9.01 05/05/11
PILGRIMS PRIDE CORP DE 5.07 04/29/11
PINNACLE AIRLINES CORP DE 2.02,9.01 05/05/11
PIONEER DRILLING CO TX 2.02,9.01 05/05/11
PLAINS EXPLORATION & PRODUCTION CO DE 1.01,2.02,2.03, 05/04/11
7.01,9.01
PLC SYSTEMS INC B0 5.02 05/02/11
PLUM CREEK TIMBER CO INC DE 5.07 05/03/11
PMI GROUP INC DE 2.02,8.01,9.01 05/05/11
POPULAR INC 7.01,9.01 05/05/11
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 05/05/11
POTLATCH CORP DE 5.07 05/02/11
POWER ONE INC DE 2.02,9.01 05/05/11
POWER SOLUTIONS INTERNATIONAL, INC. 1.01,2.01,2.03, 04/29/11
4.01,5.01,5.02,
5.03,5.06,9.01
POWER SOLUTIONS INTERNATIONAL, INC. 3.02,3.03 04/29/11
POWERSECURE INTERNATIONAL, INC. DE 2.02,9.01 05/05/11
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 05/05/11
POZEN INC /NC 2.02,9.01 05/05/11
PPL Corp 2.02,7.01,9.01 05/05/11
PRAXAIR INC DE 8.01,9.01 05/05/11
PREFERRED APARTMENT COMMUNITIES INC MD 1.01,2.01,2.03, 04/29/11
9.01
PREFERRED APARTMENT COMMUNITIES INC MD 7.01,9.01 05/05/11
PRIDE INTERNATIONAL INC DE 2.02,9.01 05/05/11
PRINCETON REVIEW INC DE 2.02,9.01 05/05/11
PROGAMING PLATFORMS CORP DE 4.01,9.01 05/04/11
PROGRESS ENERGY INC NC 2.02,9.01 05/05/11
PROS Holdings, Inc. DE 2.02,9.01 05/05/11
PROTECTIVE LIFE CORP DE 2.02,9.01 05/04/11
PROTECTIVE LIFE CORP DE 1.01,9.01 04/29/11
PROTECTIVE LIFE INSURANCE CO TN 1.01,9.01 04/29/11
PSYCHEMEDICS CORP DE 2.02,9.01 05/05/11
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 05/05/11
PULSE ELECTRONICS CORP PA 5.02 04/29/11
QAD INC DE 5.02 05/04/11
QC Holdings, Inc. KS 2.02,8.01,9.01 05/05/11
QCR HOLDINGS INC DE 5.07 05/04/11
QCR HOLDINGS INC DE 8.01,9.01 05/05/11
QLOGIC CORP DE 2.02,9.01 05/05/11
QLT INC/BC A1 2.02,9.01 05/05/11
RADIAN GROUP INC DE 2.02,9.01 05/05/11
RAM ENERGY RESOURCES INC DE 8.01,9.01 05/05/11
RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,2.03,9.01 04/29/11
RANGE RESOURCES CORP DE 2.01,9.01 04/29/11
RBC LIFE SCIENCES, INC. DE 2.02 05/04/11
REALNETWORKS INC WA 2.02,9.01 05/05/11
REALPAGE INC DE 2.02,9.01 05/05/11
REALPAGE INC DE 7.01,9.01 05/05/11
Red Lion Hotels CORP WA 2.02,9.01 05/05/11
RED MOUNTAIN RESOURCES, INC. FL 1.01,9.01 04/29/11
REDDY ICE HOLDINGS INC DE 2.02,9.01 05/05/11
REDWOOD TRUST INC MD 2.02,7.01,9.01 05/05/11
REGAL BELOIT CORP WI 5.02,5.07,9.01 05/04/11
REGENCY CENTERS CORP FL 2.02,8.01,9.01 05/04/11
Regency Energy Partners LP DE 2.02,7.01,9.01 05/05/11
Regency Energy Partners LP DE 7.01,9.01 05/05/11
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 05/03/11
RES CARE INC /KY/ KY 5.02,9.01 05/01/11
RESOURCE AMERICA, INC. DE 2.02,9.01 05/04/11
RESPONSE GENETICS INC 1.01,9.01 05/04/11
REVLON CONSUMER PRODUCTS CORP DE 8.01,9.01 05/04/11
REVLON INC /DE/ DE 8.01,9.01 05/04/11
ROBBINS & MYERS, INC. OH 2.01,9.01 04/29/11
ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 05/05/11
ROCHESTER MEDICAL CORPORATION MN 5.07 01/27/11 AMEND
ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,9.01 05/05/11
ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 03/31/11
ROSS STORES INC DE 2.02,9.01 05/05/11
ROYAL GOLD INC DE 2.02,9.01 05/05/11
Rubicon Technology, Inc. DE 2.02,9.01 05/05/11
RUDDICK CORP NC 2.02,9.01 05/05/11
RURBAN FINANCIAL CORP OH 7.01,9.01 05/05/11
Sabra Health Care REIT, Inc. MD 2.01,2.02,9.01 05/03/11
SAKS INC TN 7.01,9.01 05/05/11
SALIX PHARMACEUTICALS LTD 2.02,9.01 05/05/11
Sally Beauty Holdings, Inc. 2.02,7.01,9.01 05/05/11
SALLY HOLDINGS LLC DE 2.02,7.01,9.01 05/05/11
SANDRIDGE ENERGY INC DE 2.02,9.01 05/05/11
SANTANDER DRIVE AUTO RECEIVABLES LLC DE 1.01,9.01 05/04/11
Santaro Interactive Entertainment Co NV 1.01,1.02,9.01 04/29/11
SAPIENT CORP DE 2.02,9.01 05/05/11
Sara Lee Corp MD 2.02,9.01 05/05/11
SCIQUEST INC DE 2.02,9.01 05/05/11
Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 05/05/11
SEACHANGE INTERNATIONAL INC DE 5.02 04/29/11
SEATTLE GENETICS INC /WA DE 2.02,9.01 05/05/11
SELECTICA INC DE 2.02,9.01 05/05/11
SEQUENOM INC DE 2.02,9.01 05/05/11
SERVICEMASTER CO DE 2.01,9.01 04/30/11
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 05/05/11
ShengdaTech, Inc. 4.01,4.02,9.01 04/29/11
SHUTTERFLY INC DE 9.01 04/25/11 AMEND
SI Financial Group, Inc. 7.01,9.01 05/05/11
Signature Exploration & Production Co DE 1.01,3.02,5.02, 05/02/11
9.01
SILICON IMAGE INC DE 9.01 04/14/11 AMEND
Six Flags Entertainment Corp 8.01,9.01 05/05/11
SMART BALANCE, INC. DE 2.02,9.01 05/05/11
SNYDER'S-LANCE, INC. NC 5.07,8.01,9.01 05/03/11
Soltera Mining Corp. NV 8.01,9.01 05/05/11
Sound Financial, Inc. 2.02,9.01 05/04/11
Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 05/05/11
SRS LABS INC DE 2.02,9.01 05/05/11
ST JOE CO FL 2.02,9.01 05/05/11
Standard Gold CO 2.01,9.01 04/29/11
STARBUCKS CORP WA 5.02,9.01 05/03/11
State Auto Financial CORP OH 2.02,7.01,8.01, 05/02/11
9.01
STATION CASINOS INC NV 8.01,9.01 04/29/11
STEELE RESOURCES CORP NV 3.01,5.03,9.01 05/02/11
Stereotaxis, Inc. DE 7.01,9.01 05/05/11
STILLWATER MINING CO /DE/ DE 5.07 05/04/11
STONEMOR PARTNERS LP DE 1.01,1.02,2.03, 04/29/11
9.01
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 05/04/11
SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 05/05/11
SUNOCO INC PA 2.02,7.01,9.01 05/05/11
Sunstone Hotel Investors, Inc. MD 2.02,9.01 05/05/11
Surge Global Energy, Inc. DE 5.02 05/05/11
Sutor Technology Group LTD 5.07 04/29/11
SVB FINANCIAL GROUP 7.01,9.01 05/05/11
SWIFT ENERGY CO 2.02,9.01 05/05/11
Swisher Hygiene Inc. DE 7.01,9.01 05/05/11
SWS GROUP INC DE 8.01,9.01 05/05/11
SXC Health Solutions Corp. A6 2.02 05/04/11
Symmetry Medical Inc. DE 5.03,5.07 04/29/11
Symmetry Medical Inc. DE 8.01,9.01 05/05/11
T3 Motion, Inc. DE 1.01,9.01 05/02/11
TAKEDOWN ENTERTAINMENT INC. NV 1.01,3.02,5.02, 05/01/11
9.01
TALEO CORP DE 2.02,9.01 05/05/11
Targa Resources Corp. DE 2.02,9.01 05/05/11
Targa Resources Partners LP DE 2.02,9.01 05/05/11
TARGACEPT INC 2.02,9.01 05/05/11
TC PIPELINES LP DE 1.01,2.01,2.03, 05/03/11
7.01,9.01
TechniScan, Inc. DE 3.02 04/29/11
TECO ENERGY INC FL 5.02,5.03,5.07, 05/04/11
9.01
TEKELEC CA 2.05,5.02,9.01 04/29/11
TEKELEC CA 2.02,9.01 05/05/11
TERADATA CORP /DE/ 2.02,7.01,9.01 05/05/11
TERRA NITROGEN CO L P /DE DE 2.02,9.01 05/05/11
TESORO CORP /NEW/ DE 2.02,9.01 05/04/11
TESORO CORP /NEW/ DE 7.01,9.01 05/05/11
TETRA TECH INC DE 2.02,9.01 05/04/11
THERAGENICS CORP DE 2.02 05/05/11
THERMOGENESIS CORP DE 2.02,9.01 05/05/11
THESTREET COM DE 2.02,9.01 05/05/11
THOMAS GROUP INC DE 2.02,9.01 05/04/11
THOR INDUSTRIES INC DE 2.02,9.01 05/03/11
TICC Capital Corp. MD 2.02,9.01 05/05/11
TIMBERLAND CO DE 2.02,9.01 05/05/11
TITANIUM METALS CORP DE 2.02,7.01,9.01 05/05/11
TomoTherapy Inc WI 5.02,8.01,9.01 05/03/11
Tower International, Inc. DE 2.02,7.01,9.01 05/05/11
Towers Watson & Co. DE 2.02,9.01 05/05/11
TRANSACT TECHNOLOGIES INC DE 2.02 05/05/10
TRANSCEND SERVICES INC DE 2.02,9.01 05/05/11
TRANSCEND SERVICES INC DE 1.01,2.01,7.01, 04/29/11
9.01
Transocean Ltd. V8 2.02,9.01 05/04/11
TREDEGAR CORP VA 2.02,9.01 05/05/11
TreeHouse Foods, Inc. DE 2.02,7.01,9.01 05/05/11
TRIPLE-S MANAGEMENT CORP 5.07 04/29/11 AMEND
Trius Therapeutics Inc DE 2.02,9.01 05/05/11
True North Finance Corp DE 5.02,8.01 05/05/11
TTM TECHNOLOGIES INC WA 2.02,9.01 05/05/11
TUTOR PERINI Corp MA 2.02,9.01 05/05/11
U S PHYSICAL THERAPY INC /NV NV 2.02,8.01 05/05/11
UFP TECHNOLOGIES INC DE 2.02,9.01 05/04/11
ULTRALIFE CORP DE 2.02,9.01 05/05/11
UNIFY CORP 1.01,2.03 04/29/10
UNILENS VISION INC 5.07 04/19/11
UNION NATIONAL FINANCIAL CORP / PA PA 8.01,9.01 05/05/11
UNION PACIFIC CORP UT 8.01,9.01 05/05/11
UNITED ONLINE INC DE 2.02,9.01 05/05/11
UNIVERSAL AMERICAN CORP. DE 1.01,2.01,3.02, 04/29/11
5.01,5.02,9.01
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 05/05/11
USA Mobility, Inc DE 5.02,9.01 05/05/11
USA Mobility, Inc DE 7.01,9.01 05/05/11
USA Mobility, Inc DE 9.01 03/04/11 AMEND
USEC INC DE 1.01,1.02 05/01/11
UTSTARCOM INC DE 8.01,9.01 04/29/11
VALHI INC /DE/ DE 2.02,7.01,9.01 05/05/11
VALIDUS HOLDINGS LTD 2.02,9.01 05/05/11
VALIDUS HOLDINGS LTD 2.02,9.01 05/05/11
VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 1.01,8.01,9.01 05/03/11
VECTOR GROUP LTD DE 2.02,9.01 05/05/11
VECTREN CORP IN 2.02 05/04/11
VENDUM BATTERIES INC. 1.01,2.03,3.02, 05/03/11
9.01
Venoco, Inc. DE 2.02,9.01 05/05/11
VENTAS INC DE 2.02,9.01 05/05/11
VERTEX PHARMACEUTICALS INC / MA MA 1.01,2.03 05/05/11
VIBE RECORDS, INC. NEVADA NV 4.02,9.01 01/20/11
VICAL INC DE 2.02,9.01 05/05/11
Vicor Technologies, Inc. DE 7.01,9.01 05/04/11
Village Bank & Trust Financial Corp. 2.02,9.01 05/05/11
Viper Resources,Inc. NV 5.02,8.01 04/25/11
VISA INC. DE 2.02,9.01 05/05/11
VISTEON CORP DE 2.02,7.01,9.01 05/05/11
Vivakor, Inc. NV 5.03 05/04/11
Vulcan Materials CO NJ 2.02,9.01 05/04/11
Vulcan Materials CO NJ 7.01 05/05/11
WARNACO GROUP INC /DE/ DE 2.02,9.01 02/28/11
WARWICK VALLEY TELEPHONE CO NY 5.07,9.01 05/05/11
Waxess Holdings, Inc. 2.03,3.02,9.01 05/05/11
WebMD Health Corp. DE 2.02,7.01,8.01, 05/05/11
9.01
WEINGARTEN REALTY INVESTORS /TX/ TX 5.07 05/04/10
WESTAR ENERGY INC /KS KS 2.02,9.01 05/05/11
Western Refining, Inc. DE 2.02,9.01 05/05/11
Westinghouse Solar, Inc. DE 2.02,8.01,9.01 05/02/11
WESTMOUNTAIN ASSET MANAGEMENT INC 5.02,7.01,9.01 05/05/10
Whitestone REIT TX 1.01,8.01,9.01 05/05/11
Whitestone REIT Operating Partnership DE 8.01,9.01 05/05/11
WHITING USA TRUST I DE 2.02,9.01 05/05/11
Wilhelmina International, Inc. DE 1.01,2.03,5.02, 04/29/11
9.01
WILLIAMS COMPANIES INC DE 2.02,9.01 05/04/11
WILLIS GROUP HOLDINGS PLC L2 2.02,9.01 05/04/11
WORKSTREAM INC A6 5.02,5.03,5.07, 04/29/11
9.01
WORLD FUEL SERVICES CORP FL 7.01,9.01 05/05/11
World Omni Automobile Lease Securitiz DE 8.01,9.01 05/05/11
WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 05/05/11
WORTHINGTON INDUSTRIES INC OH 8.01,9.01 05/05/11
WRIGHT MEDICAL GROUP INC DE 2.02,5.02,8.01, 05/05/11
9.01
X RITE INC MI 2.02,7.01,9.01 05/05/11
XATA CORP /MN/ MN 2.02,9.01 05/05/11
XCEL ENERGY INC MN 8.01 05/04/11
XERIUM TECHNOLOGIES INC DE 2.02,8.01,9.01 05/04/11
YTB International, Inc. DE 1.01,9.01 05/01/11
ZIMMER HOLDINGS INC DE 5.07 05/02/11
ZIOPHARM ONCOLOGY INC DE 2.02,9.01 05/05/11
Zoo Entertainment, Inc DE 5.02 04/29/11
Zoom Telephonics, Inc. DE 2.02,9.01 05/04/11
ZST Digital Networks, Inc. DE 2.02,7.01,9.01 05/05/11
ZYGO CORP DE 2.02,9.01 05/05/11
ZYNEX INC NV 2.02,9.01 05/05/11
http://www.sec.gov/news/digest/2011/dig050611.htm
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